Marx L. Cazenave
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Marx Luke Cazenave II, who also goes by Marx Luke Cazenare II, was a registered financial professional .
Marx is a previously registered financial professional and started their career in finance in 1984. Marx had worked at 8 firms and has passed the SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2012 - February 8, 2016
AURUS ADVISORS, INC.
July 11, 2003 - October 30, 2003
CAZENAVE PARTNERS LLC
October 16, 2002 - October 15, 2003
MLC VENTURES, LLC
April 6, 2001 - January 9, 2004
MLC VENTURES, LLC
December 19, 1987 - January 13, 2011
CAZENAVE AND CO., INC.
November 3, 1987 - November 15, 1988
FIRST AMERICA EQUITIES CORP.
March 31, 1987 - December 22, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 31, 1987 - December 22, 1987
EQUITABLE ADVISORS, LLC
October 13, 1986 - February 11, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 13, 1986 - February 18, 1987
EQUITABLE ADVISORS, LLC
March 28, 1984 - September 24, 1984
LPL FINANCIAL LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AURUS ADVISORS, INC.
CRD#: 128096 / SEC#: , 8-66089
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUGUSTUS, RICHARD JOHN | PRESIDENT, DIRECTOR, CHIEF COMPLIANCE OFFICER, CFO | |
| RUSSO, JOSEPH DANIEL | VICE PRESIDENT | |
| COLLINS, ELIZABETH SARAH | FINOP | 4714831 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
